Compliance Manager needed at Global Wealth Manager recruitment
This Wealth manager requires a new Compliance Manager to carry out compliance monitoring across the Private banking network in the UK. This is an excellent opportunity for compliance professional keen to join a successful and internationally renowned global bank.
As a Compliance Manager, your responsibilities will include:
- Carry out compliance monitoring reviews to obtain assurance that there is no breach of regulation, codes or company standards
- Foster a close working relationship with Compliance Advisers, Head of Compliance, Front office and audit teams to better embed regulatory requirements
- Track and follow up findings identified and escalate professionally and on a timely basis
- Contribute to the preparation of the monitoring plan for the business regularly refreshing with any new regulatory/industry developments that affect business practices and products
- Maintain the banks internal control standards
Key skills/experience needed:
• Compliance monitoring experience in wealth management (IFA, Retail Stockbroker, Private bank)
• Good knowledge of the FSA sourcebooks (COBS, CASS COLL)
• Proven ability to work well alone and as par of a team
• Relevant compliance qualification (desirable)
• Legal degree (desirable)
Location: West End
If you would like to work for a reputed Wealth manager with opportunities to work alongside a broad range of stakeholders across the full range of banking services and products; please send me your CV for consideration.